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Policies + Procedures
Alleviate the burden of maintaining your firm’s policies & procedures manuals. Authored by leading compliance experts and legal contributors, Policies & Procedures offers the most complete resource designed to enhance the foundation of your compliance program. Using our simple step-by-step process, you can assemble it, revise it, publish it and distribute it with ease.
From our comprehensive compliance manual tailored towards broker-dealers to the authoritative manual developed specifically for investment adviser and with their latest compliance manual for hedge funds, we offer the financial services community with unique tools to meet today’s most challenging regulatory compliance and requirements.
Hedge Funds
By February 1, 2006, most hedge fund advisers must be registered with the SEC in accordance with the Investment Advisers Act of 1940. This regulation will subject hedge fund advisers to a new regulatory scheme. The Policies + Procedures for Hedge Funds is designed to be the centrepiece of a hedge fund adviser’s efforts to comply with these new regulations. Create, maintain, revise, update and distribute your firm’s compliance manual with the industry’s most comprehensive and intuitive online application.
Investment Advisors
An all-inclusive solution to assembling, recording and updating investment adviser manuals required by regulators. Policies + Procedures for Investment Advisors provides expert guidance in creating a Compliance Manual that meets SEC Rule 206(4)-7 requirements. Authored by one of the foremost experts in investment management, Policies + Procedures for Investment Advisors allows compliance professionals to create, revise, publish, navigate and distribute a compliance manual easily and efficiently.
Broker Dealers
Today's broker-dealers must follow countless regulations and rules. Concurrently, regulatory agencies are intensifying their investigative auditing. One of the most challenging requirements to comply with is the National Association of Securities Dealers' mandate of having an in-house manual of written procedures covering supervision of your firm's business. Policies + Procedures for Broker Dealers is the most comprehensive, all-inclusive electronic solution to assembling, recording, and updating broker-dealer written supervisory procedures manuals available.
For more information, call 0800 840 1160 or email UKsales@wolterskluwer.com.
